All United States articles – Page 144
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New SEC enforcement head Alex Oh resigns for personal reasons
Alex Oh resigned as head of the Securities and Exchange Commission’s Enforcement Division for personal reasons after less than one full week on the job.
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JBS USA names global head of legal and compliance
JBS USA has named Kevin Arquit to the newly created role of chief legal officer. Arquit will be responsible for leading the company’s global legal, ethics, and compliance efforts.
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FirstEnergy could face DPA in corruption scandal settlement
FirstEnergy has begun discussions with the U.S. Attorney’s Office regarding resolution of the Ohio nuclear bailout federal corruption scandal, including possibility of a deferred prosecution agreement.
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Bracing for impact: Supply chain risk management post-Suez Canal blockage
A month has gone by since a 1,300-foot cargo ship ran aground and blocked one of the busiest waterways in the world. For many industries, the ripple effects will continue to batter global supply chains for weeks to come, absent having in place a sound supply chain risk management program.
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Goldman Sachs hires chief risk officer back from Wells Fargo
Brian King will return to Goldman Sachs as consumer chief risk officer and head of business operations after seven months with Wells Fargo.
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Citgo names Steven Scarpino as first stand-alone CECO
Citgo Petroleum Corp. announced the appointment of Steven Scarpino to serve as its first stand-alone chief ethics and compliance officer reporting directly to the CEO and audit committee of the board of directors.
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CFTC ends whistleblower award drought with $3M payout
The Commodity Futures Trading Commission awarded approximately $3 million to a whistleblower in its first announced payout since September 2020.
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Lawmakers push FTC to investigate Google Play for COPPA violations
Two lawmakers sent a letter to the Federal Trade Commission urging the agency to investigate Google Play for potentially violating children’s privacy.
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Six best practices for managing cyber-security upon return to office
The hybrid work environment many organizations are expected to utilize as part of the gradual return to the workplace presents numerous cyber-security risks that require proactive attention.
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Supreme Court limits FTC’s power to recoup ill-gotten gains
The Supreme Court ruled the Federal Trade Commission cannot seek to recover funds unlawfully obtained by individuals and companies resulting from violations of consumer protection laws.
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SEC appoints Alex Oh to lead Enforcement Division
The Securities and Exchange Commission has named Alex Oh to lead an Enforcement Division expected to be more aggressive under new Chair Gary Gensler.
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Coca-Cola replaces top legal counsel with CCO
The Coca-Cola Company has pushed out its top legal counsel after less than a year on the job and named its chief compliance officer to replace him.
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Regulatory leadership status check: FTC nominee key to relieving backlog
With President Joe Biden’s picks to lead the Justice Department, Treasury Department, and SEC confirmed and sworn in, we check in on where other key regulatory agencies stand.
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Regulators want answers from financial services on AI/ML tools
The financial services industry is at the cutting edge of the utilization of artificial intelligence and machine learning tools. Regulators have recently requested to understand how these technologies are being used—or misused.
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Senate confirms Lisa Monaco as deputy attorney general
President Joe Biden’s nomination of Lisa Monaco to be deputy attorney general of the United States was confirmed by the Senate on Tuesday.
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PCAOB reaches cooperative agreement with Belgian counterpart
The PCAOB has added Belgium to its list of countries with which it has a cooperative agreement to exchange information concerning the oversight of audit firms.
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Senate extends Gary Gensler’s SEC term to 2026
The Senate voted Tuesday to extend Gary Gensler’s term as chair of the Securities and Exchange Commission through 2026, cementing his control of the top regulator of U.S. financial markets.
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Alliance Steel to pay $435K for Iran sanctions lapses
The Office of Foreign Assets Control announced a $435,003 settlement with manufacturer Alliance Steel for apparent sanctions violations related to the company’s importation of engineering services from Iran.
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Privacy by design: How to lower risk and improve outcomes
Amy Holcroft, chief privacy officer at Hewlett Packard Enterprise, shares her experience using privacy-by-design practices to help her company develop and utilize technology in a way that meets compliance requirements.
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FASB advances targeted updates to leases standard
The Financial Accounting Standards Board has tentatively ruled to move forward with a pair of updates to its leases standard aimed at certain sales-type leases and discount rates for lessees.